As part of ACA Compliance Group, our in-house regulatory and performance experience is leveraged to help your firm understand the broader picture of compliance. We draw from our experience and regulatory insight to help your firm understand industry best practices and the range of compliance issues that your peers face today.
Please join ACA and Bryan Cave for a webcast workshop designed to assist compliance professionals with addressing issues involving the availability of mutual fund fee waivers in retirement and charitable accounts.
Topics could include:
As widely discussed this conference season and in recent publications, the SEC has been "fact finding" the past few months regarding intermediary fees paid by fund companies and their advisers. Over the past 10 years, distribution and shareholder servicing fee structures have become increasingly costly and, more importantly, complex in ways that make 12b-1 Plans obsolete. In addition, in the past three years, there has been a dramatic shift from network to omnibus accounts, which further complicates fee structures on different classes.
Join ACA's Shannon Behara as she speaks on mutual funds and other registered investment companies on April 23.
ACA offers diverse compliance review and compliance services, all scalable to individual client needs.
If you are involved with mutual fund boards of directors, you probably are aware of recent Securities and Exchange Commission (“SEC”) enforcement proceedings against boards and/or their investment advisers that allege incorrect valuing of portfolio securities or an apparent failure to oversee the process.
In June 2017, ACA Performance Services acquired the investment performance practice of Ashland Partners, uniting the top two GIPS verification firms in the world. With over 70 consultants, ACA Performance Services is the largest team of professionals solely dedicated to GIPS verification and investment performance services.
ACA offers objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.